SEC Aggressiveness Casts A Shadow Over Corporate Insiders

October 1, 2021

By: Howard A. Fischer

Thomson Reuters

When I prosecuted securities fraud as a Senior Trial Counsel at the U.S. Securities and Exchange Commission (SEC), I got into what some might consider a strange habit: Trying to figure out ways in which the participants in the schemes I prosecuted could have achieved similar economic results without breaking the law by, for example, using proper documentation or disclosures.

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Republished with permission from the Thomson Reuters Institute (